- Users' guide to Standards for RTOs 2015
- Chapter 6—Regulatory compliance and governance practice
- Clauses 8.1 and 8.2—Provide requested information to ASQA
Clauses 8.1 and 8.2—Provide requested information to ASQA
The RTO cooperates with the VET Regulator:
- by providing accurate and truthful responses to information requests from the VET Regulator relevant to the RTO’s registration
- in the conduct of performance assessments (audits) and the monitoring of its operations
- by providing quality/performance indicator data
- by providing information about substantial changes to its operations or any event that would significantly affect the RTO’s ability to comply with these standards within 90 calendar days of the change occurring
- by providing information about significant changes to its ownership within 90 calendar days of the change occurring
- in the retention, archiving, retrieval and transfer of records.
The RTO ensures that any third party delivering services on its behalf is required under written agreement to cooperate with the VET Regulator:
- by providing accurate and factual responses to information requests from the VET Regulator relevant to the delivery of services
- in the conduct of performance assessments (audits) and the monitoring of its operations.
What clauses 8.1 and 8.2 mean for your RTO
RTOs are responsible for:
- cooperating with ASQA
- ensuring any third party delivering services on the RTO’s behalf is required to cooperate with ASQA.
Your RTO and any third parties delivering services on your behalf must cooperate with ASQA in responding to requests for information, undergoing performance assessments and managing records. The information you and third parties provide to ASQA must be accurate, truthful and authentic. Any documentation provided at performance assessments must be an accurate representation of your RTO’s practices.
You must notify ASQA within 90 days of the following:
- changes to executive officers or high managerial agents
- changes to financial administration status (e.g. liquidators being appointed)
- changes to legal name or type of legal entity
- changes to ownership, directorship or control (including changes to parent entities)
- significant mergers or associations with other RTOs
- registration (or application) with other education regulators (e.g. higher education provider with the Tertiary Education Quality Standards Agency)
- anything that may affect the fit and proper person status of an influential representative of the RTO
- changes to any fundamental funding/revenue source (e.g. access to or loss of government funding contract allocation)
- changes to the RTO’s business strategy (e.g. more to online delivery, assessment-only delivery, offshore delivery)
- delivery to apprentices or trainees employed under a training contract
- any other significant event.
See this web page for information about how to notify ASQA of changes, and the information and evidence that must be attached in each case.
Make sure you notify ASQA immediately if the contact details for your RTO change. Information on how to notify ASQA is available here.
ASQA is not able to provide any information about your RTO’s registration to anyone other than the published contacts.
As outlined in relation to clauses 1.8 to 1.12, you must securely retain all completed assessment items relating to each unit or module for six months from the date the decision on competence for the individual unit or module was made. If you can’t retain the actual item (e.g. construction projects or perishable items), retain evidence, such as photographs, that the standard of the item or work completed justifies the assessment outcome. Completed assessment items, such as assignments, should not be handed back to students until the six-month period has expired, although you could provide them with a copy.
ASQA assessors will not require you to provide completed assessments that are more than six months old (unless you have been specifically directed by ASQA to retain these records for longer). However, you may have to retain these records for longer if you deliver training under a funding contract or are subject to additional record retention requirements. For more information, refer to ASQA’s Guidance for Providers—Retention requirements for completed student assessment items.
As outlined in relation to clause 7.5, your RTO must collect and report on a range of data about your business and operations, including:
- AVETMISS-compliant Total VET Activity data
- quality indicator data.
If requested, you must provide ASQA with:
- business registration records e.g. ASIC reports
- information demonstrating that the organisation satisfies the Financial Viability Risk Assessment Requirements
- information demonstrating relevant people associated with the organisation satisfy the Fit and Proper Person Requirements
- information on strategies, resources and other materials used to conduct training and assessment
- documents demonstrating trainer and assessor credentials
- information about delivery operations such as modes, venues, funding, student types and activity conducted
- evidence about record management systems
- public liability insurance coverage
- the names of current or past students, who may be surveyed about satisfaction levels
- any other information required to demonstrate compliance with the VET Quality Framework.
Should your organisation stop operating as an RTO, you will need to transfer sufficient digital records to ASQA to confirm the training and assessment each student has completed. Information about withdrawing your registration is available from www.asqa.gov.au.
If your RTO uses third parties to provide services, you must ensure they cooperate with ASQA during any performance assessments and by retaining and providing records or other information. Your RTO is responsible for ensuring any third party meets these requirements. Your written agreements with any third parties must specify that they are required to cooperate with ASQA by providing information where requested and in the conduct of performance assessments.
A guide to compliance
Your RTO can demonstrate compliance through cooperation with ASQA at any time information is requested, if ASQA checks information and confirms that it is accurate.
At performance assessment, ASQA may seek evidence to verify that your information and practices are aligned. ASQA may interview students, trainers and assessors and third parties to validate information.
Guidance for applicants for initial registration
You must demonstrate that: